AVP - Code of Ethics & Compliance Controls
Salary SGD100000 - SGD150000 per annum
Consultant WeiYolk Loke (R1545553)
Date posted 07 March 2017
An AVP - Code of Ethics & Compliance Controls role at a prestigious and established asset management firm has just been made available. The fund manager has an AUM of over US$100 billion and the team that you get to work with is made of very experienced and intelligent professionals. The workplace environment that the organisation offers is also highly meritocratic and dynamic.
About the AVP - Code of Ethics and Compliance Controls Role:
This role sits with the Legal and Compliance Department in the organisation and the department manages the legal, regulatory and compliance risks by partnering the different business units to advise them on any compliance issues and risks. The role will be expected to work closely with the internal stakeholders as well as some external legal firms.
- Advise on and work with stakeholders to manage a broad spectrum of regulatory and compliance risk issues relating to policies in the firm's Compliance Manual and Code of Ethics such as: information barrier, financial crime compliance, conflicts of interest, gifts and entertainment, external activities and personal investments of the employees
- Monitor and keep abreast of global regulatory developments and industry practices, and assess impact on the business and compliance policies
- Perform periodic reviews of compliance policies and controls to ensure that they remain in line with regulatory standards and industry best practices
- Implement controls under the firm’s Financial Crimes Compliance (AML/CFT, sanctions compliance and anti-corruption) framework, including performing due diligence and risk assessment of relevant investment / business counterparties of the asset manager, and supporting the relevant reporting requirements as necessary
- Perform monitoring and surveillance as required under the relevant compliance policies and/or Code of Ethics and address violations
- Conduct Compliance training on an ongoing basis to educate staff on the relevant regulatory developments and compliance policies and procedures
- Collaborate with business units and other risk and control departments to address compliance issues and engender a culture of compliance within the business
To succeed in this AVP - Code of Ethics & Compliance Controls role, you should possess a Bachelor Degree with good academic results from a good university, preferably in Accounting, Business, Finance or related disciplines.
- At least five to ten years’ relevant compliance experience in the financial services industry
- Certification as an AML specialist with a recognised institution / association and/or experience in financial crime compliance will be an advantage
- Strong analytical skills and clear thought process abilities. Diligent with attention to details
- Good working knowledge of the investment management industry and/or financial products and financial market processes
- A proactive and highly-motivated person who is able to work both independently and as a member of the team
- Good written and oral communication and interpersonal skills
The asset manager has an established track record and is a top tier asset manager headquartered in Singapore. You will be at the heart of the action where all central decision making is happening and the organisation offers great learning opportunities which will greatly advance career progression in the future.
If you are highly dynamic and ambitious individual who is looking for his/her next challenge, this AVP - Code of Ethics & Compliance Controls role is for you.
Please apply now to discuss this opportunity.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1545553 Wei Yolk Loke